Job Description

Recruitment Information

This posting is for the State of Hawaii, Department of Commerce and Consumer Affairs, Business Registration Division, Securities Enforcement Branch.


The position is located on Oahu (Downtown Honolulu).



Salary commensurate with education and experience.


If you have any questions regarding this non-civil service exempt position, please send an email to lsugue@dcca.hawaii.gov.



The State Recruiting Office will refer all inquiries regarding this exempt position to the Department of Commerce and Consumer Affairs.

Duties Summary

The organizational unit conducts a statewide program for the investigation and prosecution of cases involving violations of the securities and franchise investment laws under the Uniform Securities Act, Chapter 485A, Hawaii Revised Statutes, and the Franchise Investment Law, Chapter 482E, Hawaii Revised Statutes. The subject position is located in the Investigation Section of the Branch, that investigates and assists with the prosecution of securities and franchise law violations.


The position provides investigative services to the Securities Enforcement Branch by planning and conducting investigations into violations of the securities and franchise laws, which in most instances involve long-term complex cases that require a comprehensive financial investigation analysis and the ability to make adjustments to the investigative strategies to ensure the prosecution of such violations. The majority of the time is spent on investigations involving most or all of the following characteristics:

• evidence contained in proliferation of documents from the simplest to the most complex;
• evidence hidden in complex organizational structures with a large number of subsidiary activities and may involve inquiries into transactions and activities occurring in several states or throughout the country;
• indirect accounting methods must often be used to establish evidence and highly complex or unusual accounting problems may be involved; and
• information obtained from diversified sources gathered both in state and out of state.

Minimum Qualification Requirements

Education: Graduation from an accredited four (4) year college or university with a bachelor’s degree.


Excess work experience as described under the Specialized Experience, below, or any other responsible administrative, professional or analytical work experience that provided knowledge, skills and abilities comparable to those acquired in four (4) years of successful study while completing a college or university curriculum leading to a baccalaureate degree may be substituted on a year-for-year basis.



Experience:

Specialized Experience: Two and one-half (2-1/2) years of progressively responsible professional investigative experience which demonstrated initiative, ingenuity, resourcefulness, and judgment required to collect, assemble, and develop facts and other pertinent data; ability to think logically and objectively, to analyze and evaluate facts, evidence and related information, and arrive at sound conclusions; skill in preparing written and oral reports and presenting investigative findings in a clear and concise manner; and tact, discretion, and capacity for obtaining the cooperation and confidence of others.


Experience as a securities enforcement investigator or comparable business/financial related experience as a law enforcement investigator is desirable.



Substitution Allowed: A law degree from a School of Law, accredited by a nationally recognized specialized accrediting body (or a law degree that is deemed comparable by a nationally recognized specialized accrediting body), may be substituted for two (2) years of Specialized Experience.



Knowledge: Applicable Federal and State Securities Laws and their related Rules and Regulations; the Franchise Investment Law, Chapter 482E, Hawaii Revised Statutes and its related Rules and Regulations; the Hawaii Administrative Rules (Department of Commerce and Consumer Affairs) on Administrative Practice and Procedure; the policies and procedures of the North American Securities Administrators Association, Inc. and the functions and relative statutory provisions of federal regulators as well as self-regulatory organizations.



Skills/Abilities: Analyze and interpret business and securities related documents including, but not limited to, financial statements and bank records; possess good oral and writing skills; investigative techniques including gathering facts i.e. taking recorded and written statements, and preservation of evidence; conduct undercover surveillance; prepare concise and accurate investigation reports and related worksheets/spreadsheets; work independently by using own initiative to creatively resolve disputes; able to work as a team member within the branch; testifies at court or administrative hearings; and files and serves legal documents.


Ability to effectively operate a motor vehicle with possession of a valid driver’s license.

Legal Authorization to Work Requirement: The State of Hawaii requires all persons seeking employment with the government of the State shall be citizens, nationals, or permanent resident aliens of the United States, or eligible under federal law for unrestricted employment in the United States.

Other Information

This position is exempt from the civil service and considered temporary in nature. Therefore, if you are appointed to the position, your employment will be considered to be "at will," which means that you may be discharged from your employment from the department head or designee at any time.

HOW TO APPLY:


Please complete and submit an Application for Non-Civil Service Appointment (HRD 278). Applications can be found at


Please email resume and application to lsugue@dcca.hawaii.gov.



NOTE: The State Recruiting Office will refer you to the Department of Commerce and Consumer Affairs regarding this exempt position.

Work Location: In person

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